SANDALWOOD SECURITIES, INC.
Adviser information for SANDALWOOD SECURITIES, INC. last updated from Form ADV on March 27th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
Type of Organization | Corporation |
---|---|
Fiscal Year End | DECEMBER |
Legal Location | New Jersey, United States |
Employees
Total Number of Employees | 12 |
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Investment Advisory/Research | 5 |
Registered Broker-Dealer Representatives | 0 |
Registered State Investment Advisers | 0 |
Licensed Agents of an Insurance Company | 0 |
No. of Firms/People that Solicit Clients | 4 |
RAUM
Provides Management of Securities Portfolios | Yes |
---|
Type | Accounts | RAUM |
---|---|---|
Discretionary | 9 | $744.2M |
Non-Discretionary | 0 | $0 |
Total | 9 | $744.2M |
Clients
Type | Number | RAUM |
---|---|---|
Individuals | 0 | $0 |
HNW Individuals | 0 | $0 |
Banking or thrift institutions | 0 | $0 |
Investment companies | 0 | $0 |
Business development companies | 0 | $0 |
Pooled investment vehicles | 9 | $744.2M |
Pension and profit sharing plans | 0 | $0 |
Charitable organizations | 0 | $0 |
State or municipal gov entities | 0 | $0 |
Other investment advisers | 0 | $0 |
Insurance companies | 0 | $0 |
Sovereign wealth funds and foreign official institutions | 0 | $0 |
Corporations or other businesses | 0 | $0 |
Other | 0 | $0 |
Type | Number |
---|---|
No. of Non-RAUM Clients | 0 |
No. of Non-U.S. Clients | 11 |
Services
Advisory Services | Portfolio management for pooled investment vehiclesSelection of other advisers (including private fund managers) |
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Compensation | % of AUMPerformance-based fees |
Identifiers
SEC RIA File Number | 801-42453 |
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SEC ERA File Number | 801-42453 |
SEC CIK Numbers | None |
SEC CRD Numbers | 27240 |
Legal Entity Identifier | None |
Principal Office
105 EISENHOWER PARKWAYROSELAND
NJ
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 973-233-8800, Fax: 973-233-8801
Websites
Chief Compliance Officer
THOMAS OSWALD
101 EISENHOWER PARKWAY
ROSELAND
NJ
United States
Tel:
973-233-8800
Fax:
973-233-8801
C*********@***********************M
(Full email address available in API data)
Regulatory Contact
KEN CHAPPLE
CFO
105 EISENHOWER PARKWAY
ROSELAND
NJ
United States
Tel:
973-233-8810
Fax:
973-233-8801
C*********@***********************M
(Full email address available in API data)
Industry Affiliates
SANDALWOOD ASSOCIATES I, INC. | Sponsor, GP, manager of pooled investment vehicles |
SANDALWOOD ASSOCIATES II, INC. | Sponsor, GP, manager of pooled investment vehicles |
SANDALWOOD ASSOCIATES III, INC. | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
Name | Type | Assets $USD | Min Investment $USD | No. Owners |
---|---|---|---|---|
BODLEIAN PARTNERS A, LP | TYPE OF FUND WITH ONGOING OFFERING | $24.6M | $1.0M | 32 |
BODLEIAN PARTNERS B,LP | PRIVATE FUND WITH ONGOING OFFERING | $126.0M | $1.0M | 105 |
OXBRIDGE PARTNERS,LP | PRIVATE FUND WITH ONGOING REDEMPTION RIGHTS | $234.0M | $1.0M | 214 |
SANDALWOOD DEBT FUND A | PRIVATE FUND WITH ONGOING REDEMPTION RIGHTS | $521.8M | $1.0M | 10 |
SANDALWOOD DEBT FUND B LP | PRIVATE FUND WITH ONGOING REDEMPTION RIGHTS | $64.9M | $1.0M | 47 |
SANDALWOOD DEBT TRADERS FUND LP | PRIVATE FUND WITH ONGOING REDEMPTION RIGHTS | $19.3M | $1.0M | 66 |
SANDALWOOD MASTER FUND,LLC | PRIVATE FUND WITH ONGOING REDEMPTION RIGHTS | $434.5M | $1.0M | 8 |
SANDALWOOD OVERSEAS FUND SPC LTD | PRIVATE FUND WITH ONGOING REDEMPTION RIGHTS | $1.6M | $1.0M | 2 |
SANDALWOOD PRIVATE PARTNERSHIP II, LP | PRIVATE FUND WITH ONGOING OFFERING | $222.9M | $1.0M | 170 |
SANDALWOOD SPECIAL CREDIT OPPORTUNITIES FUND LP | Hedge Fund | $45.8M | $1.0M | 43 |
Control Persons
Name | Type | Entity | Title | Since | Ownership |
---|---|---|---|---|---|
GROSS, MARTIN, JEFFREY | Individual | – | PRESIDENT | 04/1990 | > 75% |
CHAPPLE, KENNETH, MICHAEL | Individual | – | CHIEF FINANCIAL OFFICER | 09/2006 | < 5% |
OSWALD, THOMAS, RICHARD | Individual | – | CHIEF COMPLIANCE OFFICER | 10/2016 | < 5% |